Empire State Alliance
of
Paralegal Associations
POSITION STATEMENT
ON THE
UNAUTHORIZED PRACTICE OF LAW
IN NEW YORK STATE
Presented By:
The Empire State Alliance of Paralegal Associations
(Unanimously) Adopted February 1, 2003
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TABLE OF CONTENTS
Page
PREAMBLE ....................................................................................................................................3
THE EMPIRE STATE ALLIANCE OF PARALEGAL ASSOCIATIONS .............................................3
DEFINITION OF LEGAL ASSISTANT/PARALEGAL ....................................................................3
POSITION STATEMENT ...............................................................................................................3
UNAUTHORIZED PRACTICE OF LAW AND THE STATE
OF NEW YORK ..............................................................................................................................4
UPL: DEFINED OR UNDEFINED..............................................................................................4
PROFESSIONAL ETHICS AND UPL ..........................................................................................5
ACTIONS TO BE TAKEN AGAINST THE UNAUTHORIZED
PRACTICE OF LAW ......................................................................................................................6
INVESTIGATE AND REPORT UPL ACTIVITY ...........................................................................6
PARTICIPATE IN LEGISLATIVE ACTIVITY INVOLVING UPL ISSUES .........................................7
DEVELOP AND EXPAND WORKING RELATIONSHIPS WITH BAR ASSOCIATIONS
AND OTHER LAW-RELATED ENTITIES AGAINST UPL ............................................................7
INCREASE EFFORTS TO EDUCATE THE PUBLIC, ATTORNEYS, PARALEGALS AND
OTHER NON-LAWYERS .........................................................................................................7
ACT AS AN INFORMATION RESOURCE ON THE PARALEGAL PROFESSION ...............................8
ESAPA AND MEMBER ASSOCIATION CONTACT INFORMATION .....................................9
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PREAMBLE
EMPIRE STATE ALLIANCE OF PARALEGAL ASSOCIATIONS
WWW.GEOCITIES.COM/EMPIRESTATEPARALEGALS
EMPIRESTATEPARALEGALS@YAHOO.COM
The Empire State Alliance of Paralegal Associations (“ESAPA”) was formed in 1988 in
response to the need to strengthen the paralegal profession in New York State through
networking. Representatives of member associations meet throughout the year to exchange
information and discuss issues affecting the paralegal profession. Member associations include:
Adirondack Paralegal Association
Capital District Paralegal Association, Inc.
Long Island Paralegal Association, Inc.
Manhattan Paralegal Association, Inc.
Onondaga County Bar Association Legal Assistants Committee
Oswego County Bar Association Legal Assistant Affiliate Members
Paralegal Association of Rochester, Inc.
Western New York Paralegal Association, Inc.
West/Rock Paralegal Association
DEFINITION
A legal assistant/paralegal is a person who is qualified through education, training or
work experience to be employed or retained by a lawyer, law office, governmental agency, or
other entity in a capacity or function that involves the performance, under the ultimate direction
and supervision of, and/or accountability to, an attorney, of substantive legal work, that requires
a sufficient knowledge of legal concepts such that, absent such legal assistant/paralegal, the
attorney would perform the task. The terms “legal assistant” and “paralegal” are synonymous.
(Source: Guidelines for Utilization by Lawyers of the Services of Legal Assistants approved by
the New York State Bar Association House of Delegates on June 28, 1997) Throughout this
Position Statement, the term “paralegal” will be used.
POSITION STATEMENT
The Empire State Alliance of Paralegal Associations and its member associations
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(“ESAPA”) are concerned with increased unauthorized practice of law activity in New York
State. The unauthorized practice of law damages the legal profession and the public it serves.
Misuse of the title “paralegal” and “legal assistant” confuses the public and negatively
impacts the paralegal profession. The ESAPA does not support paralegals or other non-lawyers
who participate in the unauthorized practice of law.
In response to the need to effectively curb the unauthorized practice of law in New York
State, the ESAPA has chosen to take a pro-active position on this issue by:

Investigating and reporting UPL activity

Participating in legislative activity involving UPL issues

Developing and expanding working relationships with bar associations and other lawrelated entities against UPL

Increasing efforts to educate
- the public on non-lawyer services
- attorneys on paralegal utilization
- paralegals and other non-lawyers on ethical boundaries of non-lawyers
and the practice of law
- acting as an information resource on the paralegal profession
This Position Statement is respectfully submitted for your consideration in an effort to
foster continuing dialogue on this issue with those who share the common goal of the delivery of
quality legal services by legal professionals in accordance with the laws of the State of New
York.
UNAUTHORIZED PRACTICE OF LAW (“UPL”)
AND THE STATE OF NEW YORK
UPL DEFINED OR UNDEFINED
The “practice of law” has yet to be clearly defined. Ethics Opinion #304 issued in 1973
by the New York State Bar Association (“NYSBA”) Committee on Professional Ethics states:
“It would be violative of accepted professional standards to delegate to a law clerk
studying in a law office under a certificate of clerkship, or to a law school graduate
awaiting bar admission, or to a paralegal employee, or to any unlicensed individual any
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function which calls for the professional judgment of a lawyer.”
The Opinion further states that the delegation of certain tasks to non-lawyer employees
permitted by EC3-6 and Ethics Opinion #255 issued in 1972 “does not extend to any matter
where the exercise of professional legal judgment is required.”
Prohibition of the unauthorized practice of law has been addressed in the NYSBA Code
of Professional Responsibility (“NYSBA Code”), court decisions and statues. New York
Judiciary Laws 478 and 484 restrict the practice of law to those who are “regularly admitted to
practice, as an attorney or counselor, in the courts of record in the state.”
The Guidelines for Utilization by Lawyers of the Services of Legal Assistants approved
by the NYSBA House of Delegates on June 28, 1997 (“Guidelines”) include:
Guideline II
UNAUTHORIZED PRACTICE OF LAW
A lawyer shall not assist a legal assistant in the performance of
an activity that constitutes the unauthorized practice of law.
and
Guideline III
AUTHORIZED PRACTICE OF LAW
A legal assistant may perform certain functions otherwise
prohibited when and only to the extent authorized by statute,
court rule or decision, or administrative rule or regulation.
Further, the Commentary for Guideline III states:
“A legal assistant is not engaged in the unauthorized practice of law when acting
in compliance with statutes, court rules or decisions, or administrative rules
and regulations which establish authority in specific areas for a lay person to
appear on behalf of parties to proceedings before administrative agencies.”
PROFESSIONAL ETHICS AND UPL
The NYSBA Code states in Canon 3 that a “lawyer should assist in preventing the
unauthorized practice of law.” Paralegals are not directly bound by the NYSBA Code; however,
similar principles are recited in the codes of paralegal associations:
National Association of Legal Assistants
Code of Ethics and Professional Responsibility:
Canon 3 -- A legal assistant must not: a. engage in,
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encourage, or contribute to any act which would
constitute the unauthorized practice of law...
Canon 4 -- A legal assistant must use discretion
commensurate with knowledge and experience
but must not render independent legal judgment in
place of an attorney. The services of an attorney are
essential in the public interest whenever such legal
judgment is required.
National Federation of Paralegal Associations
Model Code of Ethics and Professional Responsibility and Guidelines for
Enforcement:
1.8 A paralegal shall not engage in the unauthorized
practice of law.
EC-1.8(a) A paralegal shall comply with the applicable
legal authority governing the unauthorized practice of
law in the jurisdiction in which the paralegal practices.
In the Final Report, NYSBA Ad Hoc Committee on Non-Lawyer Practice, May 1995
(“Ad Hoc Committee Report”), the Committee recommended active enforcement of the
unauthorized practice of law statute:
The State Bar should encourage continued vigorous
activity by the Attorney General and local District Attorneys
in enjoining violations of the statutes prohibiting the practice
of law without a license.
and
Preventing the practice of law by those unqualified to provide
legal services not only safeguards against harm to the public,
but enhances the images of attorneys who are licensed to practice
law. Those who provide legal services under the guise of
non-lawyers, such as disbarred lawyers, document preparers or
unregulated legal technicians, are wholly unaccountable for
their malfeasance.
ACTIONS TO BE TAKEN AGAINST
THE UNAUTHORIZED PRACTICE OF LAW IN NEW YORK STATE
INVESTIGATE AND REPORT UPL ACTIVITY
Each ESAPA member association shall investigate UPL activity within its geographic
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area. If such investigation affirms UPL activity, the ESAPA member association shall report its
findings to the local bar association and/or Office of the Attorney General as is customary in the
area.
In the event the offender is a member of an ESAPA member association, direct contact
shall be made with the offender to provide education materials and work to halt those activities
which constitute the unauthorized practice of law. Inadequate response by the offender shall
result in termination of the offender’s membership.
PARTICIPATE IN LEGISLATIVE ACTIVITY INVOLVING UPL ISSUES
The ESAPA shall monitor legislative activity involving UPL issues. When warranted, it
shall establish contact with legislators to state its position against UPL and offer its services as an
information resource.
DEVELOP AND EXPAND WORKING RELATIONSHIPS WITH BAR ASSOCIATIONS
AND OTHER LAW-RELATED ENTITIES AGAINST UPL
Each ESAPA member association shall communicate its position against UPL to lawrelated entities within its local legal community and offer its services as a co-worker in efforts to
curb UPL activity. This Position Statement may be distributed for this purpose.
INCREASE EFFORTS TO EDUCATE THE PUBLIC, ATTORNEYS, PARALEGALS
AND
OTHER NON-LAWYERS
Each ESAPA member association shall work to increase understanding of the role of
paralegals in the practice of law. The Guidelines may be used as an information resource.
Further, the ESAPA shall pursue education efforts through the NYSBA, local bar associations
and other law-related entities within its local legal community, as recommended in
the Ad Hoc Committee Report:
4. The Committee recommends the increased use of bar publications
and CLE programs to promote the use of paralegals, such as series
of articles informing the bar about qualifications, ability and
professionalism of legal assistants.
These education efforts may include distributing education materials, organizing and
speaking at seminars, and authoring articles for bar association and other legal publications, on
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topics such as:

paralegal utilization (generally and by law practice area)

paralegal ethics (professional codes and NYSBA Ethics Opinions)

issues surrounding non-lawyer services

paralegal education standards and programs

the paralegal profession, past, present and future
ACT AS AN INFORMATION RESOURCE ON THE PARALEGAL PROFESSION
The ESAPA shall be the state-wide information resource on the paralegal profession
and shall respond to inquiries, distribute information and provide speakers on paralegal
utilization. Member associations may be contacted individually or through the ESAPA.
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CONTACT INFORMATION
THE EMPIRE STATE ALLIANCE OF PARALEGAL ASSOCIATIONS
WWW.GEOCITIES.COM/EMPIRESTATEPARALEGALS
EMPIRESTATEPARALEGALS@YAHOO.COM
AND
MEMBER ASSOCIATIONS:
Adirondack Paralegal Association
c/o Lisa M. Bushman
338 Reynolds Road
Ft. Edward, NY 12828
(518) 792-2049
Paralegal Association of Rochester
P.O. Box 40567
Rochester, New York 14604
(585) 234-5923
www.par.itgo.com
Capital District Paralegal Association, Inc.
P.O. Box 12562
Albany, NY 12212
www.cdpa.info
capitaldistrict@paralegals.org
Western New York Paralegal Association, Inc.
P.O. Box 207, Niagara Square Station
Buffalo, NY 14201
(716) 635-8250
Long Island Paralegal Association Inc.
1877 Bly Road
East Meadow, NY 11554
(516) 357-9820
LongIsland@paralegals.org
West/Rock Paralegal Association
P.O. Box 668
New City, NY 10956
westrock@paralegals.org
westernny@paralegals.org
Manhattan Paralegal Association, Inc.
P.O. Box 4006, Grand Central Station
New York City, New York 10163
(212) 330-8213
Manhattan@paralegals.org
Onondaga County Bar Association Legal Assistants Committee
1000 State Tower Building
Syracuse, NY 13202
(315) 471-2667
www.onbar.org
Oswego County Bar Association Legal Assistant Affiliate Members
c/o Cynthia E. Wade, Paralegal
Hancock & Estabrook, LLP
One Mony Plaza
Syracuse, NY 13202
(315) 471-3151
cwade@hancocklaw.com
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